Steven Michael Blume

CRD 2226071 · Charles Schwab & Co., Inc. · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Steve Blume; Steven Blume

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 24Series 63Series 65
Registered states (3): Illinois · Minnesota · Wisconsin
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Prior Lake, MN · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Chicago, IL · BC capacity

start not retrieved → present
U.S. Bancorp Investments, Inc.
Minneapolis, MN · IA capacity

Feb 6, 2020 → Oct 29, 2021
U.S. Bancorp Investments, Inc.
Minneapolis, MN · BC capacity

Feb 6, 2020 → Oct 29, 2021
Lpl Financial LLC
Plymouth, MN · BC capacity

Aug 22, 2018 → Apr 12, 2019
Wealth Enhancement Advisory Services, LLC
Plymouth, MN · IA capacity

Sep 4, 2018 → Mar 19, 2019
Wealth Enhancement Brokerage Services, LLC
Plymouth, MN · BC capacity

Sep 4, 2018 → Mar 19, 2019
Rbc Capital Markets, LLC
Minneapolis, MN · IA capacity

Oct 2, 2013 → Jul 18, 2018
Rbc Capital Markets, LLC
Minneapolis, MN · BC capacity

Oct 2, 2013 → Jul 18, 2018
Russell Investments
Maple Grove, MN · IA capacity

Dec 16, 2010 → Apr 1, 2013
Russell Financial Services, Inc., Part Of Russell Investments
Seattle, WA · BC capacity

Dec 16, 2010 → Apr 1, 2013
Dain Rauscher Incorporated
BC capacity

Feb 2, 1998 → Mar 2, 1998
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Apr 28, 1992 → Dec 23, 1992
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

Apr 28, 1992 → Dec 23, 1992

Source & corrections

Where this page comes from

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